Arbitration and Mediation Notices

Date of Pub Title Description
May 10, 2001 Notice to Members 01-29
SEC Approves Amendments to Prohibit Terminated or Suspended Member Firms From Enforcing Predispute Arbitration Agreements Against Customers in the NASD Arbitration Forum
Effective Date: June 11, 2001
Mar 15, 2001 Notice to Members 01-22
NASD Regulation Reiterates Member Firm Best Execution Obligations and Provides Guidance to Members Concerning Compliance
Feb 6, 2001 Notice to Members 01-13
SEC Approves Amendments to Director's Authority to Remove Arbitrators For Cause
Effective Date: March 8, 2001
Jan 10, 2001 Notice to Members 01-04
SEC Approves Amendments to Director's Authority to Remove Arbitrators for Cause
Effective Date: February 12, 2001 Superseded by NTM 01-13 (eff. March 8, 2001)
Jan 10, 2001 Notice to Members 01-03
SEC Approves Early Expiration of Large and Complex Cases Rule
Effective Date: December 31, 2000
Sep 11, 2000 Notice to Members 00-64
SEC Approves Rule Changes to Amend Mediation Fee Structure
Effective Date: November 1, 2000
Sep 11, 2000 Notice to Members 00-63
NASD Regulation Provides Guidance on the Use of Installment Payments to Satisfy Arbitration Awards
Aug 10, 2000 Notice to Members 00-55
NASD Dispute Resolution Will Require Firms to Certify in Writing That They Have Complied with Arbitration Awards Within 30 Days of Receipt
Effective Date: September 18, 2000
Apr 10, 2000 Notice to Members 00-22
SEC Approves New Voluntary Single Arbitrator Pilot Program for a Two-Year Period
Effective Date: May 15, 2000
Dec 10, 1999 Notice to Members 99-100
SEC Approves Creation of Dispute Resolution Subsidiary and Related By-Laws And Rule Changes
Nov 30, 1999 Notice to Members 99-96
SEC Approves New Arbitration Disclosure Rule And Procedures for Employment Arbitration
Effective Date: January 18, 2000
Oct 25, 1999 Notice to Members 99-90
NASD Regulation Announces New Discovery Guide to be Used in Arbitration Proceedings
Sep 28, 1999 Notice to Members 99-84
NASD to Send Only One Written Notice Before Deducting Delinquent Arbitration Fees From CRD Account
Jul 1, 1999 Notice to Members 99-54
NASD Regulation Seeks Comment on Issues Relating to Arbitrator-Ordered Expungements of Information From The Central Registration Depository
Comment Period Expired August 31, 1999
Mar 1, 1999 Notice to Members 99-23
SEC Approves New Arbitration Fees
Effective March 18, 1999
Feb 1, 1999 Notice to Members 99-10
NASD Guidelines for Compliance with New Requirements for Non-California Attorneys Representing Parties in NASD Arbitrations in California
Feb 1, 1999 Notice to Members 99-09
NASD Regulation Imposes Moratorium on Arbitrator-Ordered Expungements of Information from the Central Registration Depository
Sep 1, 1998 Notice to Members 98-74
SEC Approves Rule Amendment Relating to Hearings on Suspensions and Cancellations for Failure to Comply with Arbitration Awards
Jul 1, 1998 Notice to Members 98-61
NASD Members Face CRD Account Deduction or Membership Cancellation for Non-payment of Arbitration Fees
Jul 1, 1998 Notice to Members 98-56
SEC Approves Rule Change Regarding Arbitration of Statutory Employment Disputes
Effective January 1, 1999

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